Sales and Resales of Restricted Securities |
From inside the book
Results 1-3 of 63
Page 227
... rely upon it for the sale of non - restricted securities ? Answer : No. The two - year holding period requirement of paragraph ( d ) of the rule need not be complied with if the securities are not restricted . All other conditions of ...
... rely upon it for the sale of non - restricted securities ? Answer : No. The two - year holding period requirement of paragraph ( d ) of the rule need not be complied with if the securities are not restricted . All other conditions of ...
Page 231
... rely on a statement made by the issuer in its most recent quarterly or annual report filed under the 1934 Act that it ( the issuer ) has filed all reports required under Section 13 or 15 ( d ) during the pre- ceding 12 months , or such ...
... rely on a statement made by the issuer in its most recent quarterly or annual report filed under the 1934 Act that it ( the issuer ) has filed all reports required under Section 13 or 15 ( d ) during the pre- ceding 12 months , or such ...
Page 470
... rely upon , it nevertheless has inserted a new paragraph ( j ) in the rule for the purpose of removing any doubt that may exist on this issue . ( Footnote omitted . ) The text of the new paragraph ( j ) relating to the nonexclusivity of ...
... rely upon , it nevertheless has inserted a new paragraph ( j ) in the rule for the purpose of removing any doubt that may exist on this issue . ( Footnote omitted . ) The text of the new paragraph ( j ) relating to the nonexclusivity of ...
Common terms and phrases
adopted affiliate aggregate amended amount of securities apply block positioner broker call options Commission's comply controlling person convertible securities Corporation court dealer debtor deemed disclosure effective fact filed Form 8-K held holders institutional investor interpretations intrastate investment involved issuer Item market maker ment NASDAQ no-action letters non-affiliate notification offeree representative offering exemption option outstanding paragraph permit placed debt securities position preliminary offering circular prior private offering private placement privately placed debt proposed public offering purchase pursuant Question Ralston Purina registration statement Regulation reliance requirements of Rule resale of privately resale of restricted resale of securities resell resold respect restricted securities Rule 144 transaction sales of securities secondary market Section 13 Section 4(1 securities acquired Securities Act Release securities issued seller September 19 small businesses solicitation specified staff statutory term tion underwriter view to distribution volume limitation